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  1. 31 October 2014

    Exemptions: Financial Advisers Act 2008

    The Guidance note explains the approach of the Financial Markets Authority (the FMA) to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.
    Tags
    Financial advice, Directors, Roles, Auditors, Financial Adviser, Exemptions, Business, Consumer, Supervisor
    Type
    Page, Guidance

  2. 13 August 2015

    Market misconduct risks: a guide for MIS managers

    Market misconduct risks: a guide for MIS managers information sheet is to help Managed Investment Scheme (MIS) managers understand how to manage market misconduct risks in trading activity.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  3. 8 March 2017

    KiwiSaver sales and advice

    KiwiSaver sales and advice guidance note outlines our view on what advisers or providers of KiwiSaver should talk to investors about, types of advice and the use of customer incentives.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  4. 27 June 2018

    Improving financial statements

    Improving financial statements monitoring report summarises the findings from our thematic review to determine the extent of improvements in the presentation of financial statements in a clear, concise and effective way, and sets out some suggestions for additional improvement.
    Tags
    Directors, Roles, Auditors, Business
    Type
    Page, Financial reporting, Guidance

  5. 3 April 2008

    KiwiSaver guideline no.KSGN2: Performance fees and ethical fund fees

    The purpose of KiwiSaver guideline no.KSGN2: Performance fees and ethical fund fees is to provide general guidance on how the Government Actuary will view fees to be charged directly to a KiwiSaver Scheme.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  6. 1 October 2007

    KiwiSaver guideline no.KSGN1: Unreasonable fees

    KiwiSaver guideline no.KSGN1: Unreasonable fees guidance note provides general guidance on how the Government Actuary will view fees to be charged directly to a KiwiSaver Scheme.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  7. 1 December 2014

    KiwiSaver: Managed investment schemes

    KiwiSaver: Managed investment schemes information sheet describes the transition to FMC Act for a KiwiSaver MIS. It outlines a working example of the key activities and indicative timings for each step of the transition.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  8. 29 February 2016

    How to calculate 0% PIR returns

    How to calculate 0% PIR returns information sheet sets out the formula we expect managers of portfolio investment entity (PIE) funds to use when calculating a fund’s return with a 0% prescribed investor rate.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  9. 27 September 2017

    Guidance on substantial product holder disclosures

    Guidance on substantial product holder disclosures is for anyone who has, or may have, a substantial holding in a listed issuer, fund management firms and their employees and other interested parties. It aims to assist substantial product holders in understanding their obligations and help to promote consistency in disclosures.
    Tags
    Offer information, Roles, Offer disclosure for equity and debt offers, Business
    Type
    Page, Guidance, Financial reporting

  10. 22 December 2016

    How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares

    How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares information sheet outlines the options for co-operative companies and industrial and provident societies (IPSs) (collectively referred to as co-operatives) offering and managing co-operative shares.
    Tags
    Client money or property services provider, Independent trustee, Roles, Business
    Type
    Page, Guidance

  11. 24 November 2015

    Guidance note on risk indicators and description of managed funds

    Guidance note on risk indicators and description of managed funds is for managers and supervisors of managed funds. It gives guidance on how to calculate risk indicators, when to update a PDS, how to describe a fund’s volatility, and in certain cases how to name your fund.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  12. 1 September 2014

    Governance under part 4 of the FMC Act

    Governance under part 4 of the FMC Act guidance note is for issuers of debt securities, managers of managed investment schemes and their supervisors. It gives guidance on the expectations FMA has for your approach to the governance responsibilities and accountabilities that apply under Part 4 of the Financial Markets Conduct Act 2013.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  13. 1 November 2013

    Future of financial markets - FMA market update

    Future of financial markets - FMA market update. This document explains how the Financial Markets Authority (FMA) has worked on rebuilding market and investor confidence over the two year period following the global financial crisis, and the failure of finance companies.
    Tags
    Regulation updates, Business, FMA
    Type
    Page, Guidance

  14. 1 May 2020

    FMA’s reviews of financial reporting

    FMA’s reviews of financial reporting is a statement outlining our approach to financial reporting reviews, highlighting selected areas of interest for our 2019/20 reviews. It will be useful for anyone involved in preparing or approving financial reporting for FMC reporting entities. Read more.
    Tags
    Governance, Directors, Roles, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Business, FMA, Managed investment schemes, Peer-to-peer lending service providers, Nominated representatives
    Type
    Page, Financial reporting, Guidance

  15. 9 August 2019

    Guidance on Expired Passports as Identification for CDD

    Guidance on Expired Passports as Identification for CDD issues guidance to AML/CFT supervisors using an expired passport to verify a person’s name and date of birth. This may only be part of an exception handling procedure, and not in the ‘normal course of business.’
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance